EUROPEAN COMMISSION
DIRECTORATE-GENERAL FOR HOME AFFAIRS
DIRECTORATE-GENERAL FOR JUSTICE
Shared Resource Directorate
Unit 02 : Human resources
CODE ON PROFESSIONAL ETHICS
IN DG HOME AFFAIRS and DG JUSTICE1
Responsible desk officer: Johan Dumas 95757
Updated November 2010
1 Based on the Code on Professional Ethics of DG TRADE and adapted from the July 2009 edition of the
DG JLS Code on Professional Ethics
Commission européenne, B-1049 Bruxelles / Europese Commissie, B-1049 Brussel - Belgium. Telephone: (32-2) 299 11 11.
Office: LX46 4/179. Telephone: direct line (32-2) 2951250. Fax: (32-2) 2967626.
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TABLE OF CONTENTS
TABLE OF CONTENTS ........................................................................................................... 2
FOREWORD.......................................................................................................................... 3
1.
INTRODUCTION ........................................................................................................... 4
2.
GENERAL OBLIGATIONS............................................................................................... 6
3.
CONFLICT OF INTEREST ............................................................................................... 8
4.
SPECIFIC GUIDANCE CONCERNING MISSIONS .......................................................... 14
5.
EXTERNAL ACTIVITIES AND REMUNERATIONS.......................................................... 15
6.
FORMER OFFICIALS AND OFFICIALS ON LEAVE FOR PERSONAL GROUNDS
(CCP) .......................................................................................................................... 16
7.
PROFESSIONAL KNOWLEDGE, EXPRESSIONS OF VIEWS OUTSIDE THE
COMMISSION AND CONTACTS WITH THIRD PARTIES............................................... 20
8.
REPORTING IMPROPRIETIES AND DEALING WITH ALLEGATIONS OF
WRONGDOING .......................................................................................................... 22
9.
PREVENTION OF SEXUAL AND MORAL HARASSMENT .............................................. 23
10. ANNEXES.................................................................................................................... 24
2
FOREWORD
During your career in the Commission as an official, temporary agent, contract agent or
seconded national expert (SNE), you may face ethical issues and need to consult the
appropriate legislation or practice in the field in question. This Code on Professional
Ethics will help staff of DG Home Affairs and DG Justice in this area. It complements the
information made available by the Code of Good Administrative Behaviour of DG HR2.
DG Home Affairs and DG Justice policies are at the heart of the Commission's priorities
work programme and tackle many sensitive issues such as immigration, asylum, visa
policy, fundamental rights, drugs, justice, terrorism and organised crime.
It is one of the top priorities to ensure that all staff in DG Home Affairs and DG Justice
meets the highest ethical standards in the performance of duties to safeguard our
reputation and credibility vis-à-vis Member States, the legal communities, other
stakeholders and the general public.
To reflect the importance which the two DGs attach to ensuring that staff members
uphold the highest standards of integrity and adhere to the ethical Code in a coherent
and consistent manner, the function of an Ethics Correspondent has been created.
The ethics rules are meant to protect not only the Commission's interests, but also its
reputation. They also protect individual staff members and third parties from any
malicious allegations or misrepresentations. The goal of the present Code is to set out
and clarify the rules concerning ethics and integrity that derive form the Staff
Regulations, the Conditions of Employment of Other Servants of the European
Communities, the Commission Decision C(2004)1597/10 of 28 April 2004, as well as in
other relevant implementing provisions.
The Code applies to all staff of DG Home Affairs and DG Justice (officials, contract and
temporary agents, SNEs, trainees)3. The Ethics page on the local intranet (acts as an
important supplement, as it contains the key articles of the staff regulations, guides and
procedural guides, and constitutes a rich source of information and guidance.
One should bear in mind, however, that neither the examples and recommendations,
nor the rules that are in place, will necessarily always provide a solution for potentially
delicate situations in which you may find yourself during your career in the Commission.
Consult your hierarchy in case of doubt, inform your hierarchy about possible conflicts
of interest, contacts with third parties, outside activities, etc. You should at all times
behave with due caution and discernment, use your common sense and remember the
principles that govern our professional activity: independence, loyalty, responsibility,
circumspection4 and a spirit of service.
2
http://myintracomm.ec.europa.eu/hr_admin/en/code/Pages/conduct.aspx
3 For staff not covered by the statute (e.g. external experts, staff of external contactors, SNEs and trainees),
please refer to Annex V.
4
Circumspection: stopping and reflecting on the possible consequences and implications of potential actions,
showing a degree of moderation and conducting yourself at all times with a due sense of proportion and propriety.
3
1. INTRODUCTION
The objective of the Code on Professional Ethics of DG Home Affairs and DG Justice is to
create a local framework on professional ethics and integrity in the two DGs, taking into
account the recommendations of the audit report of organisational ethics5 performed
by the Internal Audit Unit.
The goal of the present Code is to set out and clarify the rules concerning ethics and
integrity that derive from the Staff Regulations, the Conditions of Employment of Other
Servants of the European Communities, the Commission Decision C(2004)1597/10 of 28
April 2004 on outside activities and the Community case-law6. This Code creates a local
ethical framework and is largely based on the central Practical Guide on Ethics, which
has been created for information purposes only and has no legal value.
In addition to this Code, a series of Quick Guides on specific topics is developed as such,
providing DG Home Affairs and DG Justice staff with practical information on rules of
ethical conduct – in particular by tailoring such information to the DG's specific
circumstances and day-to-day activities.
To this end, the Code encloses some practical examples, based mostly on situations
which occur in the daily life of DG Home Affairs and DG Justice.
The final scope is to comply with all rules laid down in the central framework on
professional ethics and integrity, as set out by VP Kallas in his Communication of 5
March 20087.
There are frequent references in the text to the concept of Appointing Authority (AIPN).
The Commission delegates authority in personnel matters to the appropriate levels of
senior and middle management. In general terms the situation is that for procedures
concerning gifts, favours and payments, as well as external activities and publications
and speeches on professional and EU matters, the AIPN powers are exercised by the
Directorate General. For the other obligations addressed, these powers are exercised by
DG HR. The specific arrangements concerning the delegation of the AIPN powers can be
consulted on MyIntraComm8.
It should be underlined that the Staff Regulations and other relevant texts relating to
staff’s conduct often leave the AIPN a margin of discretion as regards their application
and implementation. Finally, the
disciplinary system9 (administrative inquiries and
disciplinary procedures) applies to any failure by a member or former member of staff
5 Final Audit Report on Organisational Ethics in DG JLS of 19 December 2008 reference JLS/01/2007/06
6 It is recalled that national legislation is also applicable to staff members in case, for instance, of insider
dealing which constitutes a criminal offence in most national laws.
7 Communication from Vice-President Kallas to the Commission on enhancing the environment for
professional ethics in the Commission (SEC(2008) 301 final of 5 March 2008).
8 Relevant central informati
on on http://myintracomm.ec.europa.eu/hr_admin/en/ethics/Pages/index.aspx
9 See Article 86 of the Staff Regulations and Annex IX to the Staff regulations.
4
to comply with their obligations (including offences under national criminal law) under
the Staff Regulations, whether intentionally or through negligence. This can include
conduct in private life. In this context, it is important to draw attention to the fact that
DG Home Affairs and DG Justice staff can be held responsible in case of breach of the
Staff Regulations and/or other relevant provisions, even if s/he has not benefited from
this failure or the failure did not cause damage to the Commission10.
As regards the latter, financial responsibility can also be claimed when the Commission
has suffered damage as a result of the serious misconduct of an official in the course of,
or in connection with, the performance of their duties11.
It is the responsibility of the management of DG Home Affairs and DG Justice, at all
levels, to behave beyond reproach and thus set a good example, to ensure proper
guidance and supervision, and to refer cases to the AIPN and the Investigation and
Disciplinary Office of the Commission (IDOC) where necessary.
10 See Joined Cases T-24/98 and T-241/99 E v Commission [2001] ECR II-681, paragraph 76
11 See Article 22 of the Staff Regulations
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2. GENERAL OBLIGATIONS
The ethical obligations of DG Home Affair
s and DG Justice staff are laid down in Articles
11-22b of the Staff Regulations, which are equally applicable to other agents of the
Commission12 as well as seconded national experts (SNEs). In the case of a breach,
members of staff are subject
to disciplinary sanctions (Article 86 of the Staff
Regulations). The internal control standards of the Commission also emphasise that all
staff are expected to be aware of and share appropriate ethical and organisational
values and to uphold these through their own behaviour and decision-making.
The purpose of this Code is to assist in identifying and resolving ethical issues. To that
end the following sections highlight and illustrate the ethical obligations that are
particularly relevant to staff of DG Home Affairs and DG Justice. However, this Code
cannot exonerate staff from a personal responsibility to familiarise themselves with all
the rules, to exercise good judgement and to constantly question whether they are in
compliance.
The following "golden rules" of the Practical Guide on Ethics provide an excellent
general guidance basis:
• Serve the public interest, by acting with integrity and being objective and
impartial in your work
• Be loyal to the Commission
• Provide citizens and others with the quality service you would expect yourself
• Remember that you are the human face of the Commission and that others will
judge the Commission on the basis of what they see and experience
• Carry out the tasks assigned to you with responsibility and to the best of your
ability
• Treat your colleagues with respect
• Make sure your conduct is beyond reproach, by not knowingly being a party to
an activity that could bring the Commission into disrepute or could cause your
impartiality to be questioned
12 See Conditions of Employment of other Servants of the European Community, Articles 11, 54, 81, 124 for other
agents of the Commission. Commission Decision C (2006) 2033 of 1/6/2006 laying down rules on the secondment
of national experts to the Commission essentially provides the obligations as discussed in this Guide. For that
reason, the following description mentions only the relevant articles of the Staff Regulations.
Please refer also to the Annex V in this document, which addresses trainees, SNEs, external experts, and personnel
of external service providers (contractors).
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• Ensure that you are aware of the relevant legal obligations, rules and
procedures
• If you are unsure whether something you do or are asked to do is ethical,
consult the relevant information – including this guide – and if in doubt, ASK
your superior or your local human resources unit.
2.1.
Independence, Loyalty and Impartiality in our daily work
First and foremost, the work of DG Home Affairs and DG Justice staff should be
guided by the general obligations of loyalty, independence and impartiality, as laid
down in Article 11 (1) of the Staff Regulations. According to that provision,
members of staff are required to act solely with the interests of the Communities
in mind, to carry out duties objectively, impartially and in keeping with the duty of
loyalty not to seek or take instructions from outside their institutions.
These three duties largely coincide. They mean that staff must act in an
independent and objective manner at all times. Conclusions or decisions should be
balanced and based on a thorough analysis of the relevant rules and underlying
facts.
Example: A situation in which impartiality and independence might be cast into
doubt is where, e.g. a colleague is unduly influenced by an outside interested
party during a call for proposals procedure.
2.2.
Duty to represent the views of the Commission
If a view adopted at the Commission level differs from an official's personal view or
even from the position of DG Home Affairs or DG Justice, the duty of loyalty
requires the DGs' staff to represent the Commission's view to the best of their
ability and to clearly confine themselves to the Commission's position, especially in
matters falling within the remit of their responsibilities/files. In other words, once
the Commission has decided to follow a line everybody must do their best to
defend it, even if personally they do not agree.
2.3.
Duty of dignity - professional and private behaviour
Article 12 of the Staff Regulations requires staff from DG Home Affairs and DG
Justice to refrain from any behaviour that might reflect adversely upon their
position. This duty targets the professional and private behaviour of the entire staff
of DG Home Affairs and DG Justice and is broadly defined to cover any acts that are
"
sufficiently serious, when judged by general standards of probity, as to reflect
badly on the European Public service and/or which bring it into disrepute".
2.4.
Respect of colleagues and circumspection
DG Home Affairs and DG Justice staff is expected to address colleagues and
superiors in the two respective DGs, as well as colleagues in other DGs/institutions,
with respect and consideration. Even in case of conflict, e.g., with another DG, it is
7
important to remain polite and to uphold the common objective of seeking a
constructive solution to the problem.
2.5.
Using Commission resources
In using Commission resources, such as computer equipment, e-mail and internet
access, telephones, mobile phones and fax equipment or the photocopying
machine, DG Home Affairs and DG Justice staff should bear in mind three basic
principles: First of all, working hours are to be used for work. Secondly, staff must
ensure the proper and efficient use of the resources so as to protect the financial
interests of the European Union. Thirdly, using Commission resources for non-
professional purposes can adversely affect the reputation of the Commission.
Example: This can be illustrated with the use of communication tools.
Computer equipment, e-mail and internet access, telephones, mobile phones
and fax equipment have been installed by the Commission for official use.
However, this equipment may be used for private purposes as long as it is on
a purely occasional basis and does not amount to extensive use of the
equipment for private purposes. Further guidelines on what constitutes
acceptable use of the Commission's ICT Services have been laid down in
Administrative Notice 45-2006.
Specifically regarding the internet, the infrastructure that the Commission has to
establish in order to provide staff with access to the internet is costly. The more
the internet is used the more infrastructure and manpower is needed.
Example: using the Commission internet, e.g., to follow a bidding process on
e-bay, is not only a problem of cost. It will also detract attention from work.
Finally, the reputation of Commission staff is adversely affected if certain
providers trace the Commission as the user.
2.6.
Private life
DG Home Affairs and DG Justice would obviously not interfere with the private life
of its staff and its freedom of opinion13. Nevertheless, staff should in all contexts,
including their private life, be respectful and circumspect. In addition, the duty of
dignity requires staff to be particularly vigilant to the respect of national law (in
particular criminal law) in all circumstances.
3. CONFLICT OF INTEREST
Dealing appropriately with situations in which there might be a conflict of interest is of
the utmost importance in order to ensure the necessary impartiality and safeguard the
reputation and credibility of the Commission. Article 11a (1) of the Staff Regulations
establishes an obligation for all staff to identify and inform the Appointing Authority of
any situation of conflict of interest that may arise in the performance of duties.
13 See Art 17a(1) of the Staff Regulations
8
Article 11a § 1 reads:
“An official shall not, in the performance of his
duties and save as hereinafter provided, deal with a matter in which,
directly or indirectly, he has any personal interest such as to impair his
independence, and, in particular, family and financial interests.”
The decision as to whether a personal interest is of such magnitude as to impair the
official’s independence and therefore has to be notified, does not rest solely with the
staff member. Besides real and potential conflicts of interest,
apparent conflicts of
interest are also covered. An apparent conflict of interest may be defined as a situation
in which there is a personal interest which might reasonably be thought by others to
influence the public official’s duties, even if, in reality, there is no undue influence14.
Such situations must be avoided because of the potential for casting doubt on the
official’s impartiality and integrity and the potential reputational damage for the
institution.
Direct or indirect interest may include:
- Family or partnership ties, personal friendships
- Holding of financial interests (see section 3.3 below)
- Insider dealing
- Political affinities and national influences
- Gifts, favours and donations
3.1.
The Declaration rule as a way of coping with possible conflicts of interest.
Pursuant to the obligation established by Article 11a of the Staff Regulations, staff
must inform the Appointing Authority15 whenever they deal with matters in which
they have any personal interest as defined above. Whenever there is a risk that
their independence might be impaired, staff members must complete the relevant
declaration form (see Quick Guide in annexes) and send it to the Appointing
Authority. This form must be signed by the immediate superior and the Director
General, who are required to give their opinion on whether the personal interest
of the staff member involved could impair his/her independence.
It is also advisable that staff members take the initiative of informing their
hierarchy immediately of any
potential issue. This early notification will enable the
latter to take proportionate measures capable of suppressing/removing the
conflict. If, for personal reasons staff members wish to obtain the advice of
someone not directly involved, the Ethics Correspondent may be contacted.
DG Home Affairs and DG Justice request that staff members complete an 'in
house' declaration form which sets out obligations regarding personal interests
(in particular family or financial). This measure aims at increasing awareness
14 See case T-21/01
Zavvos v Commission [2002]ECR p. II-483
15 In this case the Director General for Personnel and Administration
9
among staff. The form should be filled in when joining DG Home Affairs, DG Justice
or any of the shared services attached to these DGs.
3.2.
Family or partnership ties, personal relationships
In accordance with Article 11a(1) and (2) of the Staff Regulations, officials should
inform the Appointing Authority about family or other ties that might imply a
conflict of interest, see point 3.1 above.
Example: If you negotiate a bilateral agreement or are in a position to
influence the decision-making process through the procedures within DG
Home Affairs or DG Justice, and a member of your family happens to work in a
company involved in the case, this fact should be made known immediately.
Since a
spouse’s professional activities may also create a conflict of interest,
Article 13 of the Staff Regulations states, inter alia, that "should the nature of the
employment prove to be incompatible with that of the official and if the official is
unable to give an undertaking that it will cease within a specified period, the
appointing authority shall, after consulting the Joint Committee, decide whether
the official shall continue in his post or be transferred to another post".
Therefore,
if a staff member's husband/wife/partner is in gainful employment
s/he must inform his/her Appointing Authority16 by filling out the appropriate
form which contains,
inter alia a description of their duties and the interests at
stake, a detailed description of their husband/wife/partner’s work and information
on his/her employer. This form has to be signed by his/her superior and the
Director General, who are required to give their opinion on whether the
professional position of their partner could impair their independence.
This declaration is without prejudice to the official's obligation to also identify and
declare any specific situation of conflict of interests as foreseen in Article 11a. This
obligation also applies to non-married couples who meet the criteria provided in
Article 1(2)(c) of Annex VII of the Staff Regulations (couples entitled to household
allowance), as such partnerships are treated as marriage pursuant to the second
subparagraph of Article 1d(1) of the Staff Regulations. The Appointing Authority
should also be informed of any changes in the spouse's employment situation if
appropriate. This obligation applies whatever the nature, the duration or the
importance of the gainful employment of the spouse/partner.
16 The appropriate form can be found under:
http://myintracomm.ec.europa.eu/hr_admin/en/ethics/obligations/conflicts_interest/Documents/form_13
_act_spouse_en.doc
The Appointing Authority is the Director-General of Personnel and Administration if you come under a
category other than “Administrators and Assistants and equivalent work” and the Director of ADMIN.B
if you come under that category.
10
3.3.
Holding of financial interests
A possible cause of conflict of interest is the
holding of financial interests. Article
11a (1) of the Staff Regulations forbids staff from dealing with any matter in which
they have a financial interest.
Example: A conflict of interest would arise if an official were to handle a case or
otherwise take part in the decision-making process (including through
consultation) involving a company in which they hold securities or otherwise
have a financial interest, such as to impair his/her independence.
As regards the acquisition of financial assets from companies that a staff member
deals with at work, Article 11a(3) of the Staff Regulations states that: “He [the
official]
may neither keep nor acquire, directly or indirectly, in undertakings which
are subject to the authority of the institution to which he belongs or which have
dealings with that institution, any interest of such kind or magnitude as might
impair his independence in the performance of his duties.”
3.4.
Political affinities and activities and national influences
Although it is evident and covered by the Staff Regulations that staff should have
an impartial and independent position in the execution of duties, they may at
times find themselves under pressure from political groups or a national
government. It is their duty to inform the hierarchy about such situations and to
take the necessary measures to prevent their independence from being
threatened or compromised.
Staff members who wish to stand for public office or have been elected or
appointed to public office, must notify their Appointing Authority without delay
(Article 15 of the Staff Regulations) by filling a specific form.
3.5.
Gifts, favours and donations
Article 11 (2) of the Staff Regulations requires Commission staff not to accept gifts,
favours or donations from any source outside the institution without obtaining
prior permission from the Director General (who acts as Appointing Authority).
A Quick Guide on gifts and hospitality can be found on the intranet. As a
general
rule, it is recommended that staff decline all gifts that have more than merely
symbolic value (such as diaries, calendars, small desk items, etc), or go beyond the
customary diplomatic hospitality.
If a staff member is offered any gifts, favours or donations with a combined
value
of more than €50 in any given year, and the staff member wishes to accept them,
he/she must request permission to accept them, by using the appropriate form
available on the intranet.
Gifts in kind such as trips, excursions, social events are to be approved by the
Appointing Authority (Director General of DG Home Affairs or DG Justice) in
11
advance, and will only be authorised if the interest of the Commission can be
clearly demonstrated.
In deciding on whether to authorise a gift, the Director General will consider the
motive behind offering the gift, favour or donation, the possible consequences for
the Commission's interests, the number of gifts, favours or hospitality received
from the same source together with the total number that the staff member has
received during the course of a year. The
Director General may authorise a staff
member to accept the gift, favour or donation if its value is less than or equal to €
250. More expensive gifts may be retained as Commission property, or donated by
the Commission to charity.
Before accepting
invitations for lunch, dinner or other events, DG Home Affairs
and DG Justice officials must carefully consider the context of the invitation, the
interest of the Institution and the potential risks that accepting such an invitation
might create, including in terms of appearances. They must inform the hierarchy in
any case.
Staff members should request authorisation to accept hospitality that is offered by
people with whom they have professional contacts, if they exceed a cumulative
value of €50 in one year. If it is not possible to consult the hierarchy in advance
they should politely decline the invitation. This rule does not apply, of course, to
meals or favours offered by the organizers of events that staff members have been
instructed to attend as part of their work. Mission orders and/or expense claims
must of course include details of any hospitality offered so that appropriate
deductions may be made from allowances.
DG Home Affairs and DG Justice officials must always behave with complete
transparency vis-à-vis their hierarchy in such matters and should avoid any
embarrassing situations where accepting an invitation could be perceived by a
reasonable person as impairing their independence or impartiality, and where
consequently a reputational risk could arise.
Example: Invitations from a foreign mission to the celebration of a national
day or occasional working lunches with an external company would in most
cases probably be authorised. Expensive restaurants or invitations to
inappropriate luxurious or glamorous events should be politely refused as a
rule, unless an overriding interest of the service requires the participation and
the staff member has obtained the permission from his/her hierarchy in
advance.
Typical cases in which accepting hospitality may be in the interest of the service
(and which may overlap in whole or in part) are:
12
Situation 1: Missions outside Brussels.
Example: During a mission you are giving a presentation at a conference, or you visit a
company concerned by one of your cases and you are offered a meal or other facilities (for
instance local transport) by the organisers of the event or by the authorities of the country
you are visiting.
What to do? No separate authorisation is required where the hospitality and/or facilities
offered allow speedier or easier accomplishment of the tasks assigned during the mission
and/or are part of customary diplomatic behaviour and do not go beyond what is necessary
and reasonable.
Transparency should of course always be ensured, i.e. hierarchy should be informed ex ante
or (if not possible) at least ex post in writing. Obviously the general rules on mission orders
and/or expense claims including details of any hospitality offered, so that appropriate
deductions may be made from allowances, still apply here.
Situation 2: I am invited to an event to represent the Commission.
Example: Hospitality may also be an issue when you participate in an event as part of your
work representing the Commission without a formal mission order (e.g. in Brussels).
What to do? Your hierarchy should always be informed in advance about such events and
authorise your participation. Where hospitality provided goes beyond common practice you
should inform your hierarchy in advance and obtain an authorisation.
Situation 3: Contacts with representatives of Member States or of third countries over
meals.
Example: Contacts taking place in Brussels or abroad, in the context of customary
diplomatic activity.
What do to? If a staff member is for example invited to attend a working lunch hosted by
another mission, the following day s/he should whenever possible inform the hierarchy in
advance and obtain an authorisation to attend it by e-mail. If it is impossible to obtain an
advance authorisation, for example, because a staff member is being invited spontaneously
in the context of an important negotiation session to continue the discussion over
lunch/dinner, please follow the following instructions as overall guidance:
- please consider the nature of the hospitality and its frequency. Sound judgement must
guide a staff member in determining whether there is a risk to his/her impartiality and/or
the reputation of the Commission.
-
a working lunch / dinner that immediately follows upon a work-related meeting would
probably be acceptable, if the lunch/dinner does not take place in a restaurant beyond the
normal standard for officials.
- lunch with a regular counterpart every so often would be more acceptable than a weekly
occurrence.
- if a staff member has some doubt, s/he should politely decline the invitation or suggest
that s/he pays for himself/herself.
13
- the staff member should inform his/her hierarchy directly after the lunch in writing and
declare the invitation together with its estimated value in writing.
DG HR is currently in the process of preparing a Commission decision with the aim of
clarifying the rules on gifts and the guidance provided here will have to be reviewed
once the decision has been adopted.
The question for staff in all such situations should be whether accepting the gift
could compromise their autonomy, present a relational risk for the Commission,
independently of its value. If in doubt staff should discuss it with the hierarchy or
directly with the Ethics Correspondent(s) in the Shared Resource Directorate (unit
02) of DG Home Affairs and DG Justice. If this is not possible it is strongly
recommended that staff decline diplomatically
.
4. SPECIFIC GUIDANCE CONCERNING MISSIONS
Activities such as giving speeches, giving presentations or participating in conferences,
when carried out in the framework of daily work and/or a mission, are NOT external
activities in the sense of Article 12b of the Staff Regulations.
It should be stressed that the authorising officer must assess the appropriateness of a
mission with regard to the interest of the service.
At times, it may be unclear whether an invitation to give a speech or to make a
presentation outside the Commission should be considered a mission or not.
Disseminating information about the Commission’s work in the area of Home Affairs
and Justice policy is an important aspect of the DGs' mission. However, the number of
invitations addressed to a single unit or person may be excessive, or the target audience
too small or not important enough for the event to be worth sending an official on
mission.
Staff should therefore consult with their hierarchy on whether to accept an invitation or
not. Several factors will be taken into consideration, mainly: the purpose of the event
and the nature of the body organising it; the interest of the Directorate General and/or
the Commission in participating; and the priority the event has in relation to other
responsibilities and the unit’s or a person's workload.
If a member of staff wishes to accept an invitation to participate in a certain event even
though the Head of Unit has decided that it should not be considered a mission or part
of the normal work, the member of staff may request annual leave. Being on leave,
however, does not remove the obligation to request authorisation to engage in an
outside activity. Whether on mission or not, the obligations established in Articles 11,
12, 17 and 17a of the Staff Regulations should be remembered in this context.
When going on mission, there is no requirement to ask for an additional authorisation
to engage in the foreseen activities which might for example include delivering a
speech. Nevertheless, if the text of such speech or presentation made during a mission
is to be published, staff members are obliged to inform the Appointing Authority of DG
Home Affairs or DG Justice, as relevant.
Article 4 of the Commission Decision C(2004) 1597/10 of 28 April 2004 on outside
activities and assignments (hereinafter referred to as “the Commission Decision”)
14
specifically forbids all staff from accepting any payment offered in exchange for work
done in the framework of a mission.
The question of whether reimbursement or direct payment of mission costs by the
inviting body can be accepted requires careful examination by the hierarchy, in order to
avoid any potential conflict of interest or reputational damage. Should mission costs be
reimbursed by the inviting body, such reimbursement must be declared and deducted
from mission costs.
If leisure activities are included in the official schedule of the event, they should never
exceed the average common practice.
5. EXTERNAL ACTIVITIES AND REMUNERATIONS
Apart from the Staff Regulations, rules governing external activities and remuneration
are laid down in the Commission Decision, and are applicable to officials, temporary and
contract agents and SNEs17 working in DG Home Affairs and DG Justice. Please refer to
Annex V18 for the rules applying to all other personnel working at the European
Commission.
The basic principles should be that officials avoid engaging in external activities which
might interfere with their performance or create a real or perceived conflict of interest.
Prior authorisation to take on external professional activities is therefore compulsory.
The Commission Decision defines three types of external activities:
a)
Public office: any public office, paid or unpaid, filled by election or otherwise.
b)
Assignment: the taking on of a defined, time-limited task, for example giving a
speech, making a presentation or writing an article.
c)
Other outside activity: any activity, paid or unpaid, that is of an occupational
character or otherwise goes beyond what can reasonably be considered a leisure
activity, such as giving lectures in the framework of university courses, writing a book or
working as a consultant.
Other activities foreseen in the Commission Decision and for which permission should
normally be granted are charitable work and educational activities19.
17
See Commission decision C(2006)/2033 of 1/06/06 laying down rules on the secondment of national experts to the
Commission, as modified by Communication SEC(2008)121 of 30/1/2008
18 Note from DG HR Directorate B of 30 June 2010 signed by Marie-Pierre DARCHY.
19 Articles 5 and 6 of Commission Decision C(2004) 1597/10 of 28 April 2004 define, respectively, voluntary work
and educational activities. Voluntary work is work not giving rise to remuneration or the like, charitable or not.
Authorisation shall be granted as long as the work is not so onerous as to impair the official’s ability to work for the
Commission. Educational activities such as teaching shall, in principle, be authorised for up to a year, as long as
their duration does not exceed 100 hours per academic year. In exceptional circumstances, where the activity is
deemed to be of interest to the institution, they may be extended to academic activities, including research.
15
Each case is to be assessed on its own merits; it is unlikely that approval would be given
for assignments or outside activities pursued in a professional or similar capacity (to
work as a lawyer, economist, accountant, consultant, etc.), and activities carried out for
firms and companies whose objectives are commercial, even if the relationship with
that company entails no remuneration or purely nominal remuneration20.
The performance of duties stemming from the tenure of public office is a special case in
that there is no obligation to request authorisation. For officials who intend to stand for
public office, or have been electe
d or appointed to public office, Article 15 of the Staff
Regulations establishes the obligation to inform the Appointing Authority, which will
decide whether and under what modalities the official may continue to discharge
his/her duties.
6. FORMER OFFICIALS AND OFFICIALS ON LEAVE FOR PERSONAL GROUNDS (CCP)
6.1.
Officials on CCP
Leave on personal grounds (CCP) is an administrative status which may be granted to
officials at their own request (Article 40 of the Staff Regulations).
Officials on CCP are
not former staff, as they are entitled to reintegration into Commission services.
Thus, they are subject to the same obligations as officials in active employment, in
particular those established in articles 11, 11a, 12, 13, 15, 16, 17 and 17a of the Staff
Regulations. They are also subject to the relevant stipulations of Chapter 2 of the
Commission Decision C(2004) 1597/10 of 28 April 2004.
Professional activity is allowed during a CCP, but it must be authorised in advance.
Requests to engage in occupational activities, paid or unpaid, made during CCP or in
connection with a request to take CCP, shall be submitted through normal hierarchical
channels to the Director General for Personnel (DG ADMIN).
The general rule is that the official must supply the Appointing Authority with all the
relevant information needed to make an informed decision regarding the possibility of
the requested activity’s conflicting with the interests of the institution21.
The Appointing Authority may make the permission to engage in occupational activities
subject to any conditions which it considers necessary to ensure that officials comply
with their obligations. In particular,
it may impose conditions according to the
particular circumstances of a case, taking into account the nature of each policy area.
20 Commission Decision C(2004) 1597/10 of 28 April 2004, articles 7 and 8, and Administrative notice n° 85-2004 of
29 June 2004.
21 For details, see articles 14 to 17 of the Commission Decision C(2004) 1597/10 of 28 April 2004 for the rules
applicable to officials on CCP
16
Example: This may be the case when an official requests CCP to take a job in the
private sector working in the field of Home Affairs and Justice policies (e.g. law firms
or consultancy), and may include restrictions concerning work not only on particular
files, but also specific companies or enterprises. In certain cases, the exercise of the
activity concerned during the CCP can even be refused.
While there may be considerable benefits for officials of DG Home Affairs and DG
Justice to gain professional experience outside the Commission by taking CCP, staff
should be especially
mindful of their obligations vis-à-vis the institution, and in
particular as regards avoiding any situation in which a conflict of interest might emerge.
Such a conflict may arise not only during CCP but also when staff enters into
negotiations in respect
of any professional activity they plan to undertake while on
CCP: it is therefore strongly recommended to discuss any negotiations in which a staff
member might engage in this period with their hierarchy or the Ethics Correspondent(s)
of the DGs in order to avoid any conflict of interest before or during CCP.
It is important to note that where a staff member's circumstances could give rise to any
real or apparent conflict of interest, either at the negotiation stage or following
submission of a formal request for CCP, the DG reserves the right to adapt, if necessary,
internal instructions concerning the execution of the official's day to day duties during
the period preceding departure.
Examples of such measures may include restriction of access to information,
modification of file or sector assignment or even transfer to another post within the
DG if the nature of your proposed activity is considered incompatible with your current
position. Each case will be assessed on its own merits and in full compliance with the
principle of proportionality.
According to Article 16(3) of the Commission Decision on external activities, the official
may not participate in meetings or have contacts of a professional nature with his or her
former Directorate General or service for a period of:
--
1 year where the official occupied a management function in this Directorate General
or service;
--
6 months in all other cases.
Finally, it is also worth remembering that an official under CCP or seconded in the
interest of service22 remains bound by his/her statutory duties of integrity and
discretion. He/she shall in particular refrain from any unauthorised disclosure of
information received in the line of duty, unless that information has already been made
public or is accessible to the public.
22 e.g. to work for their national government during an EU-presidency
17
6.2.
Former officials23
Former officials are all those who ha
ve definitively left the service (Article 47 of the Staff
Regulations), e.g. following resignation, retirement, dismissal or removal from the post,
and those who have been retired in
the interests of the service pursuant Article 50 of
the Staff Regulations.
Article 16(1) of the Staff Regulations state that former officials: “
continue to be bound
by the duty to behave with integrity and discretion as regards the acceptance of certain
appointments”. Article 16(2) further establishes the obligation for any former official
intending to engage in an occupational activity, whether gainful or not, within two years
of leaving the service, to inform his/her institution. The latter shall decide and notify the
former official within thirty days whether the intended occupation could conflict with its
legitimate interests24.
Moreover, pursuant to Article 17(1) and (2) of the Staff Regulations, former officials
remain under the obligation to refrain from any unauthorised disclosure of information
received in the line of duty, unless that information has already been made public or is
accessible to the public.
Such obligations obviously also apply to former officials who held
management posts in
DG Home Affairs or DG Justice.
In view of DG Home Affairs and DG Justice policy areas, the situation of former staff
members who left either DG and continue their career as lawyers or consultants is of
special interest.
a) Two-year period of leaving the service
If a former official decides to engage in a professional activity, within two years of
leaving the service she/he must ask for prior authorisation to do so from the
Appointing Authority (DG HR).
Under Article 16(2) of the Staff Regulations, if the proposed activity is related to
work carried out by the official during the last three years of service and could lead
to a conflict of interest, the Appointing Authority may either forbid the former
official from undertaking the proposed activity or may impose specific conditions in
the light of the particular circumstances of the case. Such conditions could e.g.
23 This should also apply to former SNEs who have not joined back the public administration and former contractual
agents (see Articles 11, 54 and 91 of the Conditions of Employment of other Servants of the European
Communities).
24 Article 16 of the Staff Regulations states:
“(I)f the activity is related to the work carried out by the official during
the last three years of service and could lead to a conflict with the legitimate interests of the institution, the
Appointing Authority may, having regard to the interests of the service, either forbid him (the official)
from
undertaking it or give its approval subject to any conditions it thinks fit.” See also articles 18 to 20
of Commission
Decision C(2004) 1597/10 of 28 April 2004.
18
concern – depending on the grade of the former official and the nature of the
former responsibilities - specific cases or specific files.
Such a conflict of interest may emerge even before leaving the Commission, since
an official might enter into negotiations and even, under certain circumstances,
when an official has the intention of entering into such negotiations with a
potential future employer. This situation may require the adoption of internal
instructions as regards the official's daily work in DG Home Affairs or DG Justice.
After leaving the service, an official continues to be bound by the duty to behave
with integrity and discretion as regards the acceptance of certain appointments or
benefits (Article 16(1)) and to refrain from any unauthorised disclosure of
information received in the line of duty, unless that information has already been
made public or is accessible to the public (Article 17).
In any case, during the two year period, former officials of DG Home Affairs and DG
Justice should not handle files of which they had knowledge in the course of, or in
connection with, the performance of their duties at the DG.
b) After the two-year period of leaving the service
Once the two-year period has expired, the former officials are no longer under an
obligation to ask for a prior authorisation to engage in an occupational activity in
accordance with Article 16(2) of the Staff Regulations.
Nevertheless, it should be remembered that former officials continue to be bound
by the ongoing duty to behave with integrity and discretion as regards the
acceptance of certain appointments and to refrain from any unauthorised
disclosure of non accessible informat
ion received in the line of duty (Article 16(1)
and 17 of the Staff Regulations).
Consequently, should they infringe the obligations above mentioned, in the
performance of their new duties, be it five or ten years after leaving the service,
they may be sanctioned for such failures.
In this context, former officials should be particularly aware of their duty to behave
with integrity and discretion as concerns files of which they had knowledge in the
course of, or in connection, with the performance of their duties at DG Home
Affairs or DG Justice.
c) Distance rule
Since a person assisting a party in a meeting, a hearing or an inspection could
influence its outcome by virtue of their previous responsibilities within the DG, the
approval of the occupational activity within two years of leaving the service may,
on a case by case basis, be subject to conditions on distance. These may include
the condition that the former official does not participate in meetings or have
contacts of a professional nature with their former Directorate or service for a
certain period.
19
In addition and to the extent possible, DG Home Affairs and DG Justice request
their current staff to inform the superiors immediately of any potential
participation in a meeting with former members of management (unless it is
obvious that the person concerned left the DG such a long time ago that there is no
longer any risk25). This will allow the hierarchy to assess whether a risk exists that
the staff member might find themselves in a sensitive situation requiring the
adoption of appropriate and proportionate measures as regards the organisation
of the meeting.
DG Home Affairs and DG Justice note that similar rules on professional knowledge
(see point 7 below) and distance apply to staff returning to either DG after having
gone on CCP. In this case, a staff member may feel impeded from dealing with a
particular file in DG Home Affairs or DG Justice because of the duty not to use
knowledge gained in a previous position. Members of staff who find themselves in
such a situation should approach their (immediate) superior and request to be
assigned to a different file.
7. PROFESSIONAL KNOWLEDGE, EXPRESSIONS OF VIEWS OUTSIDE THE COMMISSION AND CONTACTS
WITH THIRD PARTIES
7.1.
General principles: professional secrecy and loyalty vs. freedom of
expression
Article 17a(2) of the Staff Regulations creates an obligation for officials to inform
the Appointing Authority of their intention to publish or have published any matter
dealing with the work of the Communities. Before publishing any matter dealing
with the work of the Communities, staff members are obliged to inform the
Appointing Authority (see section 3.4 above on external activities). The mere fact of
issuing a publication concerned with the work of the Communities, without first
notifying the Appointing Authority, constitutes an infringement of Article 17a of the
Staff Regulations.
Also, in that context, an official on CCP does not lose his/her status as an official
during the period of leave and therefore remains subject to the obligations
incumbent upon every official.
In addition, Article 17 of the Staff Regulations establishes the obligation for officials
to refrain from “any
unauthorised disclosure of information received in the line of
duty, unless that information has already been made public or is accessible to the
public.”
In view of the serious consequences that a breach of Article 17 could carry for the
Commission’s reputation, cases of unauthorised disclosure of information not yet
made public concerning any aspect of the work of DG Home Affairs or DG Justice,
25 Apart from the application of the distance rule
stricto sensu, it has to be kept in mind that former officials should
not, at any time, be involved in cases of which they had knowledge in the course of, or in connection, with the
performance of their duties at DG Home Affairs or DG Justice (see section a) "the two-year period of leaving the
service", last paragraph below).
20
whether intentional or not, will be investigated and may, ultimately, lead to
disciplinary action and/or financial claims for serious neglect, in application of the
relevant procedures.
On the other hand, officials enjoy a right to freedom of expression as enshrined in
Article 17a of the Staff Regulations: “
an official has the right to freedom of
expression, with due respect to the principles of loyalty and impartiality”.
This right, however, should be understood together with the obligations laid down
in Articles 11 and 12 of the Staff Regulations. These establish, respectively, that
staff members have a “
duty of loyalty to the Communities” and must also refrain
from “
any action or behaviour that might reflect adversely upon (their) position”.
In other words, an official may publicly express his/her personal opinions, while
avoiding demeaning or offensive statements that impugn the honour of the
persons or institutions against whom they were made.
The obligation of loyalty nevertheless imposes circumspection: officials should
avoid creating confusion when making public statements, they should avoid
discussing cases or matters which are still pending a formal position, and they
should also defend the Commission's position whenever the final view adopted by
the Commission in a file falling within his/her remit differs from his/her personal
view.
When expressing views in public, especially if they are critical of the Commission's
official view, members of staff should make it absolutely clear that these are
personal opinions and do not necessarily reflect the views of the Commission
and/or DG Home Affairs or DG Justice.
Whether in public or in private, staff should not disclose any information they have
come across in the performance of their duties unless they have received
authorisation to do so and/or are sure that such information is already publicly
available. Staff should of course also refrain from disclosing, whether intentionally
or not, any confidential information received in the line of duty, whether it
concerns business secrets of a company or details of the internal decision-making
processes of the Commission. Staff should refer to the special DG Home Affairs and
DG Justice rules on the treatment of sensitive information
and the Commission
rules on treatment of EU classified information26.
As already mentioned, under exceptional circumstances (presumption of the
existence of illegal activity, including fraud or corruption, detrimental to the
interests of the Communities or serious failure to comply with the obligations of
officials), staff is permitted, pursuant to Article 22b of the Staff Regulations, to raise
concerns with external bodies without fear of adverse consequences. This provision
on whistle-blowing must be understood as an exception to the general principle of
professional discretion that all staff must respect. Articles 22a and 22b of the Staff
Regulations establish the ways of dealing with cases of suspected irregularities.
26 http://www.cc.cec/security/help_advice/information_en.htm
21
7.2.
Contacts with third parties
As part of their day-to-day work, officials of DG Home Affairs and DG Justice are in
permanent contact with third parties (Member States, third country
representatives, business, NGOs, media, etc.). These contacts are often necessary
and welcome but they require professionalism and discretion and are subject to
special rules.
As a general rule, staff should always inform the hierarchy prior to attending such
meetings. And should also let the hierarchy know of the results of such meetings
subsequently.
Meetings with private parties (e.g. business, NGO) should normally take place in the
Commission buildings and ideally involve another colleague from the Commission.
In the case of contacts with interest groups, staff should always consult DG HR's
Register27 as a source of reference and be cautious with groups not registered.
Nevertheless, it should be stressed that there is no ban on meetings with
unregistered interest representatives.
As a general rule, DG Home Affairs and DG Justice staff should refuse any
invitations to meetings from interest representatives or third parties which could
put the institution in a delicate situation.
8. REPORTING IMPROPRIETIES AND DEALING WITH ALLEGATIONS OF WRONGDOING
Pursuant Article 22a of the Staff Regulations, staff members are obliged to report to
their superior or the Director General, or if considered useful the Secretary General or
OLAF, any information received in connection with the performance of duties which
gives rise to the assumption of possible
illegal activities detrimental to the interests of
the Communities, or of
conduct relating to the discharge of professional duties which
may constitute a serious failure to comply with the obligations incumbent on officials of
the Communities. Article 22b of the Staff Regulations establishes the ways of dealing
with cases of suspected irregularities.
Any official who, in the course of or in connection with the performance of his/her
duties, becomes aware of any information, whatever its source, having a bearing on any
of the staff of DG Home Affairs or DG Justice, which may be detrimental to the interests
of the Communities, shall without delay inform his/her immediate superior, the
Director General, the local Ethics Correspondent or the Secretary-General of the
Commission, or the European Anti-Fraud Office (OLAF). Before reporting, the official
should assess if there is a serious allegation or serious reasons to believe that there is an
allegation of wrongdoing.
Example: This rule covers various possible situations, not only financial irregularities, for
example the alleged leaking by an official of sensitive information. or a request made by any
national (Member State or other) judicial or investigative body, or any information made
public in the press or otherwise, or any information encountered internally, to the extent that
27 it could have a direct bearing on staff of the DG by hinting at alleged improprieties).
http://ec.europa.eu/civil_society/index_en.htm
22
The effective application of the whistle blowing rules and the protection of
whistleblowers28 are set out in a specific Communication SEC(2004) 151/2.
9. PREVENTION OF SEXUAL AND MORAL HARASSMENT
All staff, statutory or non-statutory, working within the Commission must refrain from
all forms of psychological and sexual harassment. They must also be ensured of the
respect of their personal dignity, the dignity of their position and if need be take the
necessary measures available.
Staff should respect at all times the Decision of the Commission relating to the policy
concerning the protection of the dignity of the person and the fight against
psychological and sexual harassment at the European Commission29, and avoid a
behaviour which is felt to be inappropriate or embarrassing for another person.
Staff feeling harassed can choose to follow the informal or the formal procedure. The
informal procedure looks for an amicable solution via the confidential counsellors or
through the mediation service. The formal procedure is triggered by submitting a
request for assistance, under Article 24 and 90§1 of the Staff Regulation, to unit HR.B2,
which is responsible for initiating the procedure. The Appointing Authority can then
instruct the IDOC, if necessary, to carry out an administrative enquiry to determine the
facts of the case and apportion any responsibility. In the case of sexual harassment, it is
up to the victim to provide all useful details which might support his/her allegations. In
the case of psychological harassment, a degree of evidence is required.
28
http://myintracomm.ec.europa.eu/hr_admin/en/idoc/Pages/whistleblowing.aspx
29 Commission Decision C(2006)1624/3 (fr - en - de ) of 26th April
2006 http://myintracomm-
staging.net1.cec.eu.int/hr_admin/en/equal_opportunities/respectful_working/Documents/comm_native
_c_2006_1624_3_en_acte.pdf
23
10. ANNEXES
ANNEX I
DG HOME AFFAIRS and DG JUSTICE
Quick Guide on reporting of incidents
Background
In order to enable the Commission to meet its obligations of good administrative behaviour and
in particular in the dealings that the Commission has with the public, the Commission
undertakes to observe the standards concerned set out in the Code of Good Administrative
Behaviour for Staff of the European Commission in their Relations with the Public .
As stipulated in Article 22a of the Staff Regulations, staff are obliged to report to their superior
or the Director General, or if considered useful the Secretary General or OLAF, any information
which may be detrimental to the interests of the Communities.
The effective application of the whistle blowing rules and the protection of whistleblowers are
set out in a specific Communication SEC(2004)151/2.
Guidance
The main aim of this guide is to help you how to report a violation against the ethical standards
and the Code of Good Administrative Behaviour of the Commission, and to reassure you that
there are no repercussions and negative effect for the informant/whistleblower.
The regulation establishing the European Anti-Fraud Office (OLAF) imposes a duty on any official
or other employee of the Commission "who becomes aware of evidence which gives rise to a
presumption of the existence of possible cases of fraud, corruption or any other illegal activity
detrimental to the interests of the Community or other serious professional misconduct" to
inform his or her Director General immediately (or if they consider it useful, the Secretary
General of the Commission of OLAF directly.)
The official’s duty is simply to raise the concern without delay: the Head of Unit, Director,
Director-General or Secretary-General are in turn required to report the matter to OLAF without
delay (although they may take other measures to redress any shortcomings or prevent the risk
of similar wrongdoing in future). Once the Director-General is informed of a particular
wrongdoing, he must also ensure that the Commissioner is made aware of this if the matter is
considered sufficiently important to be reported to OLAF. The assistants of the Director-General
are responsible for ensuring that any relevant information is made available to the
Commissioner in a timely and appropriate manner.
OLAF’s remit is to investigate if they consider the evidence sufficient. The interests of anyone
implicated in such an investigation are protected in two ways: OLAF must inform them as rapidly
24
as can be done without harming the investigation and no conclusions can be reached until the
person concerned has had a chance to express his or her views. Those who report such
wrongdoing – so-called "whistleblowers" - are also protected: staff can be assured that no
action will be taken against them even if their suspicions prove to be unfounded, provided that
they acted in good faith.
In practice
If you have evidence of fraud, corruption or other serious wrongdoing (theft for example), you
have to report this incident.
You may inform:
•
The Director-General, or if you prefer your Head of Unit or Director or
•
The Secretary-General or
•
OLAF directly.
You do not need to prove that the presumption of wrongdoing is true but you should reasonably
believe it to be the case.
The duty to report does not extend to other cases of wrongdoing or impropriety, such as
bullying or sexual harassment, but you are strongly encouraged to come forward with these
concerns. In many cases, the most obvious person to talk to, will be your line manager.
However, should you for whatever reason feel uncomfortable about talking to your direct
superior, you are invited to contact either the Director General or to the Director "General
Affairs". It goes without saying that all information will be treated in the strictest confidence.
Additional information
http://myintracomm.ec.europa.eu/hr_admin/en/ethics/Pages/index.aspx
Update:
29
January
2009
25
ANNEX II
DG HOME AFFAIRS and DG JUSTICE
Quick Guide on external activities and remunerations
Background
Apart from the Staff Regulations, rules governing external activities and remuneration are laid
down in Commission Decision C(2004) 1597/10 of 28 April 2004 on outside activities and
assignments (hereinafter referred to as “the Commission Decision”), and are applicable to
officials, temporary and auxiliary agents and seconded national experts (SNEs) working in DG
Home Affairs and DG Justice.
The basic principles should be that officials avoid engaging in external activities which might
interfere with their performance or create a real or perceived conflict of interest.
Prior authorisation to take on external professional activities is therefore compulsory.
Guidance
The main aim of this guide is to help you how to apply for permission in advance before
engaging in paid or unpaid outside activity.
The Commission Decision defines three types of external activities:
a)
Public office: any public office, paid or unpaid, filled by election or otherwise.
b)
Assignment: the taking on of a defined, time-limited task, for example giving a
speech, making a presentation or writing an article.
c)
Other outside activity: any activity, paid or unpaid, that is of an occupational
character or otherwise goes beyond what can reasonably be considered a leisure
activity, such as giving lectures in the framework of university courses, writing a book
or working as a consultant.
Other activities foreseen in the Commission Decision and for which permission should normally
be granted are charitable work and educational activities.
Each case is to be assessed on its own merits, it is unlikely that approval would be given for
assignments or outside activities pursued in a professional or similar capacity (to work as a
lawyer, economist, accountant, consultant, etc.), and activities carried out for firms and
companies whose objectives are commercial, even if the relationship with that company entails
no remuneration or purely nominal remuneration.
26
The performance of duties stemming from the tenure of public office is a special case in that
there is no obligation to request authorisation. For officials who intend to stand for public office,
or have been elected or appointed to public office, Article 15 of the Staff Regulations establishes
the obligation to inform the AA, which will decide whether and under what modalities the
official may continue to discharge his/her duties.
The maximum net annual remuneration you may receive for all work you undertake outside the
EU institutions is €4,500. Any amounts received over and above this must be turned over to
your institution.
It goes without saying that no outside work may be performed either on the premises of the
institutions or during your normal working hours.
To make a request, you must
submit your external activity request online via Sysper2 ("My
Ethics requests section").
The appointing authority is the Director-General for Personnel and Administration if you are:
Director-General, Head of Service or equivalent (DG)
Deputy Director-General or equivalent (DDG)
"Hors classe" adviser or equivalent (HCA)
Director or equivalent (D)
Chief adviser or equivalent (CA)
The appointing authority is the Director-General of your DG if you are:
Adviser or equivalent (AL)
Head of Unit or equivalent (UH)
Administrator or equivalent (ADM)
Assistant or equivalent (AST)
Your form must be submitted via Sysper2, together with the appropriate supporting documents
and required approval signatures,
two months before you plan to start the work in question.
The online approval circuits is as follows:
for posts DG/DDG/HCA/D/CA - unit HR/B/3 - SC 11 03/065
for posts AL/UH/ADM/AST – Head of Unit SRD.02 (DG Home Affairs and DG Justice)
Additional information
http://myintracomm.ec.europa.eu/hr_admin/en/ethics/obligations/conflicts_interest/Pages/ex
ternal_activities.aspx
Update:
30
November
2010
27
Sysper2 Ethics module for external activity requests (replaces paper forms)
Commission européenne, B-1049 Bruxelles / Europese Commissie, B-1049 Brussel - Belgium. Telephone: (32-2) 299 11 11.
Office: LX46 4/179. Telephone: direct line (32-2) 2951250. Fax: (32-2) 2967626.
29
Annex III
COMMISSION EUROPÉENNE
DIRECTION GÉNÉRALE AFFAIRES INTÉRIEURES
DIRECTION GÉNÉRALE JUSTICE
SRD.02: Ressources humaines
Contact/information:
Tél.:(32-2) 2959030, Fax: (32-2) 2951250; Email : HOME-JUST Local Security Office
Engagement à signer par tout personnel à la DG HOME et DG JUSTICE non
concernée par le Statut des fonctionnaires des Communautés Européennes
Les articles 11 et 17 du Statut des fonctionnaires des Communautés européennes
stipulent que :
Article 11
Le fonctionnaire doit s'acquitter de ses fonctions et régler sa conduite en ayant
uniquement en vue les intérêts des Communautés, sans solliciter ni accepter
d'instructions d'aucun gouvernement, autorité, organisation ou personne extérieure à
son institution. Il remplit les fonctions qui lui sont confiées de manière objective et
impartiale et dans le respect de son devoir de loyauté envers les Communautés.
Le fonctionnaire ne peut accepter d'un gouvernement ni d'aucune source extérieure à
l'institution à laquelle il appartient, sans autorisation de l'autorité investie du pouvoir de
nomination, une distinction honorifique, une faveur, un don, une rémunération, de
quelque nature qu'ils soient, sauf pour services rendus soit avant sa nomination, soit au
cours d'un congé spécial pour service militaire ou national, et au titre de tels services.
Article 17
1. Le fonctionnaire s'abstient de toute divulgation non autorisée d'informations portées
à sa connaissance dans l'exercice de ses fonctions, à moins que ces informations
n'aient déjà été rendues publiques ou ne soient accessibles au public.
2. Le fonctionnaire reste soumis à cette obligation après la cessation de ses fonctions.
Vous êtes soumis aux mêmes règles qui s'appliquent mutatis mutandis. Veuillez signer le
présent document, attestant ainsi que vous avez pros connaissance desdites propositions
et que vous vous engagez à les respecter.
NOM, PRENOM :
N° PERSONNEL :
UNITE:
DATE & SIGNATURE
Commission européenne, B-1049 Bruxelles / Europese Commissie, B-1049 Brussel - Belgium. Telephone: (32-2) 299 11 11.
Office: LX46 4/179. Telephone: direct line (32-2) 2951250. Fax: (32-2) 2967626.
COMMISSION EUROPÉENNE
DIRECTION GÉNÉRALE AFFAIRES INTÉRIEURES
DIRECTION GÉNÉRALE JUSTICE
SRD.02: Ressources humaines
Contact/information:
Tel.:(32-2) 2959030, Fax: (32-2) 2951250; E-mail : HOME-JUST Local Security Office
UNDERTAKING TO BE SIGNED BY ALL STAFF OF DG HOME AFFAIRS AND DG JUSTICE TO
WHOM THE STAFF REGULATIONS OF OFFICIALS OF THE EUROPEAN COMMUNITIES DO NOT
APPLY
The Articles 11 and 17 of the Staff Regulations of officials of the European Communities lays
down that:
Article 11
An official shall carry out his duties and conduct himself solely with the interests of the
Communities in mind; he shall neither seek nor take instructions from any government,
authority, organisation or person outside his institution. He shall carry out the duties
assigned to him objectively, impartially and in keeping with his duty of loyalty to the
Communities.
An official shall not without the permission of the appointing authority accept from any
government or from any other source outside the institution to which he belongs any
honour, decoration, favour, gift or payment of any kind whatever, except for services
rendered either before his appointment or during special leave for military or other
national service and in respect of such service.
Article 17
1. An official shall refrain from any unauthorised disclosure of information received in
the line of duty, unless that information has already been made public or is accessible to
the public.
2. An official shall continue to be bound by this obligation after leaving the service.
You are subject to the same rules, which apply
mutatis mutandis. Please sign this form which
confirms that you are aware of these provisions and that you undertake to abide by them.
FAMILY NAME, FIRST NAME:
PERSONNEL N°:
UNIT:
DATE & SIGNATURE:
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ANNEX IV
EUROPEAN COMMISSION
Please enter an answer
DIRECTORATE-GENERAL ………………………….
in every section and
write in block letters
DECLARATION
IN THE EVENT OF A POSSIBLE CONFLICT OF INTERESTS
(Article 11a of the Staff Regulations and Articles 11, 54, 81 and 124 of the CEOS)
APPLICANT
SURNAME/FIRST NAME:
………………………………………….
Personnel No: .....…..
Administrative status: official/temporary official/contract staff/auxiliary staff30
Grade: .......…………
Building/office number: ……………………………………….
Tel. : ……………….
DG, Directorate, unit: ......................……………………………………………………...
Description of duties at the Commission: ...………………………………………........….
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PLANNED ACTIVITY
State the nature of and procedure involved in the
matter on which you are called on to
decide - or deal with - in the performance of your duties at the Commission and in the
outcome - or handling - of which you may have a personal interest such as to impair your
independence: .……………………………………………………………………………..
..………………………………………………………………………………………….…
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State the reasons why your independence may be impaired: …………......................
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SIGNATURE: ......................……………………………………. DATE: .............……..…….
30 Delete as appropriate.
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OPINION OF IMMEDIATE SUPERIOR
Accepted/Rejected1
If rejected, give reasons: .....……………………………………………………………….
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SURNAME/FIRST NAME: ..........................................…………… POSITION: ..…......……….
SIGNATURE: ...............................……………………… DATE: .…………………………...
OPINION OF DIRECTOR-GENERAL
Accepted/Rejected1
If rejected, give reasons: .....……………………………………………………………….
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SURNAME/FIRST NAME: ..........................................……………....................…......……….
SIGNATURE: ...............................……………………… DATE: ……………...……………..
SEND THE COMPLETED FORM TO UNIT HR/B/3 – SC 11 03/27
DECISION OF APPOINTING AUTHORITY
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SURNAME/FIRST NAME: ..........................................……..………………… ……...............
SIGNATURE: ...............................………………………….….. DATE: ……………...…….
33
ANNEX_V
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